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农产品贸易技术性贸易壁垒外文文献翻译2010年3000多字

农产品贸易技术性贸易壁垒外文文献翻译2010年3000多字
农产品贸易技术性贸易壁垒外文文献翻译2010年3000多字

文献出处:Weyerbrock, S., & Xia, T. (2010). Technical trade barriers in US/Europe agricultural trade. Agribusiness, 16(2), 235-251.

Technical Trade Barriers in US/Europe

Agricultural Trade

Silvia Weyerbrock and Tian Xia

ABSTRACT

Technical barriers strongly affect US/European agricultural and food trade. A 1996 USDA survey identifies 57 questionable European regulations affecting US agricultural exports with an estimated trade impact of $899.55 million. This article identifies European and US technical regulations that impede bilateral trade. The article provides a background for case studies and draws conclusions regarding the future role of technical barriers. We expect that technical barriers in US/Europe trade will proliferate in the future because of changes in trade rules, higher demand for food safety and various food quality attributes, and EU membership of Eastern European countries. ? 2000 John Wiley & Sons, Inc.

1. INTRODUCTION

Technical trade barriers strongly impede trade in agricultural and food products. In this article we use the term technical barriers to trade (TBTs) to refer to obstacles arising from both sanitary and phytosanitary (SPS) and technical regulations and measures. Although such regulations and measures are frequently motivated by domestic health and safety concerns, they may be used as non-transparent, difficult-to-challenge trade barriers.A1996 US Department of Agriculture (USDA) survey finds that the US may be losing $4.97 billion exports because of questionable regulations (Thornsbury, Roberts, DeRemer, & Orden, 1997; Roberts & DeRemer, 1997). In future, technical barriers are likely to increase because of increased demand for food and environmental safety.

Moreover, owing to the recent strengthening of World Trade Organization (WTO) rules on traditional barriers such as tariffs and quantitative non-tariff barriers, countries may substitute traditional by technical barriers (Roberts & DeRemer, 1997; Hooker and Caswell, 1995; Wang and Caswell, 1997). Finally, new technologies and new products will lead to changes in regulatory policies, which may create trade frictions.

This article identifies European and US SPS and technical barriers that impede bilateral food trade. We concentrate on US/Europe agricultural trade for four reasons:

1. Europe is an important trading partner of the US. In 1997, 20% of US exports were directed to Europe, while 20.6% of US imports originated from Europe (USDA/ FAS, 1998).

2. A 1996 USDA survey, put together by Roberts and DeRemer, identifies 57 questionable European regulations affecting US agricultural exports with an estimated trade impact of $899.55 million. Six regulations account for 61.8% of the trade impact (Thornsbury et al., 1997; Roberts & DeRemer, 1997). For confidentiality reasons, Roberts and DeRemer could not identify specific issues. Our article identifies recent and current specific European and US technical barriers that affect bilateral food trade.

3. Given their high income, US and European consumers demand a high level of food and environmental safety. Moreover, the strong US and European farmers’ lobbies demand support. The efforts of both groups will contribute to stricter SPS and technical regulations and the growing incidence of technical trade barriers.

4. Europe and the US are pioneers in developing new technologies and products and, therefore, new regulations.

The literature on technical barriers is in its infancy. This is due to the lack of a commonly agreed upon definition and comprehensive data on the incidence of these measures. Moreover, estimating the trade and welfare effects of technical barriers is difficult. Roberts and DeRemer (1997) describe several challenges. One challenge is to estimate compliance costs based on often merely qualitative information. Estimating the

benefits of technical barriers is also difficult, because they may be based on preventing low-probability, highconsequence events. Finally, because of the bilateral nature of many technical barriers, economic models need to incorporate product differentiation and market power.

Most empirical studies of technical barriers at this point consist of case studies that provide evidence of specific disputes (Ndayisenga & Kinsey, 1994). Other researchers or policymakers have put a figure on selected technical barriers by approximating the amount of trade affected by the regulation. The objective of this article is to pinpoint questionable technical barriers in US/Europe trade. The survey provides a background for case studies and permits conclusions regarding the future role of technical barriers in US/Europe trade. In Section 2, we provide an overview of agricultural trade between the US and Europe. Section 3 defines technical trade barriers and surveys WTO rules applying to such measures. In Section 4, we first report results of the 1996 USDA survey on technical trade barriers (Thornsbury et al., in press; Roberts & DeRemer, 1997). We then identify specific problem areas. Section 5 includes our conclusion.

2. TRADE

This section surveys bilateral US/Europe trade and trade within Europe of agricultural and food products. For this purpose, we divide most of Europe into three blocs: the European Union (EU), Eastern Europe (EE), and the former Soviet Union (FSU)/Russia.

2.1. US/Europe Trade

In 1997, the US agricultural exports to European countries amounted to $11.3 billion and US imports from Europe to $7.4 billion (Table 1). Twenty percent of US exports were directed to Europe, whereas 21.4% of US imports originated from Europe (USDA/FAS, 1998).US/EU. Within Europe, the EU is the largest export market for US food products. In 1997, 77.9% of US exports to Europe went to the EU. Major US exports are soybeans, feed and fodder, and tree nuts. The EU is also the dominant European source of US agricultural and food imports. The US imported $7 billion agricultural

goods from the EU—mainly snack food, vegetable oils, and cheese (USDA/FAS, 1998). US/Russia. The second most important trading partner of the US in Europe, the FSU, received $1.5 billion of US agricultural exports (Table 1). More than 80% of these exports (mainly poultry meat, red meat, and wheat) go to Russia. US poultry exports are highly dependent on the Russian market. Russia’s imports from the US vastly exceeded its exports to the US of $29 million. The US imports Russian dairy products, hides and skins, and essential oils (USDA/FAS, 1998). US/Eastern Europe. The agricultural and food trade between the US and Eastern Europe has been volatile in recent years. In 1997, the US merely exported $282 million US agricultural goods to Eastern European countries. Wheat, poultry meat, and coarse grains dominate US exports. The US import shares for Poland, Romania, Hungary, and the Czech Republic are 5.7%, 8.0%, 4.4%, and 0.6%, respectively (USDA/FAS, 1997a, 1997b, 1997c, 1997e). The US import shares are small because of unfavorable import access conditions. Compared to the US, members of the EU, Central European Free TradeArea (CEFTA), and European Free Trade Area (EFTA), and many developing countries have preferential access to Eastern European markets. For example, Romanian tariffs on EU cheese imports are 18.8% whereas tariffs on US cheese imports amount to 240.0% (USDA/FAS, 1997e). Nevertheless, the US Foreign Agricultural Service (FAS) considers Poland, the most populouscountry in Eastern Europe, as a top 10 emerging market worldwide (USDA/FAS, 1997c). About 2.86% or $212.1 million of US agricultural and food imports came from Eastern Europe. Eastern Europe’s most important export goods are fruit and vegetable juice, tobacco, and red meat (USDA/FAS, 1998).

2.2. Intra-Europe Trade

EU/Eastern Europe. The EU dominates Eastern Europe’s agricultural trad e. In 1995, EU exports to Eastern Europe totaled $4.4 billion—15.5 times the value of the US exports to Eastern Europe (Table 1). In most Eastern European countries imports from the EU exceed 40% of total imports. The top three EU exports were meat, fruits and vegetables, and coffee, tea, and spices. During the same time period, EU imports from Eastern Europe were $3.3 billion. Top EU imports from Eastern Europe were meat, fruits and vegetables, and live animals (OECD, 1996).

The EU’s large market s hare in Eastern Europe is due to geographic proximity and the Europe Agreements. The Europe Agreements establish bilateral preferential trade between the EU and various Eastern European and Baltic countries. Overall, the agreements appear to have promoted EU exports to Eastern Europe rather than Eastern European exports to the EU. Only Bulgaria and Hungary now have an agricultural trade surplus with the EU (Bojenc, 1996). The EU has granted limited access to Eastern European food products for which it has a surplus—often products of interest to Eastern Europe (Tangermann, 1994). Because of administrative problems, Eastern European countries have not used many preferential agreements (Frohberg & Hartmann, 1996). EU/Russia. Russia is also a major trading partner of the EU. Russia imported $4.6 billion agricultural and food products from the EU and exported $812 million products to the EU in 1995. The major EU exports to Russia are beverages, meat, and coffee, tea, and spices; top EU imports from Russia are fish, hides and skins, and oil seeds (Table 1).

In 1996, the EU accounted for 15.0% of total Russian agricultural imports while the USrepresented 9.9% of Russian imports (OECD, 1996). The EU and Russia signed a partnership and cooperation agreement in 1994. There is no evidence that US exporters face discriminatory tariffs compared to their Western European competitors.

3. WHAT IS A TECHNICAL BARRIER TO TRADE?

US/Europe agricultural trade is strongly affected by technical barriers to trade. As mentioned above there is no commonly agreed upon definition of technical barriers to trade. Researchers have proposed definitions based on intent, economic impact, and instruments used.

In this survey we follow a definition proposed by Thornsbury et al. (1997) and Roberts and DeRemer (1997). They define technical barriers as “in ternationally divergent regulations and standards governing the sale of products in national markets which have as their prima facie objective the correction of market inefficiencies stemming from externalities associated with the production, distribution, and consumption of these p roducts.” This definition includes standards of identity, measure, and quality, and SPS, global commons,

and packaging measures. It, however, excludes incentive measures such as subsidies and taxes (Roberts & DeRemer, 1997). In addition to the technical regulations, Roberts and DeRemer stress that demonstrating conformity to a foreign regulation can be a technical barrier.

Technical trade barriers differ from many other trade barriers because they can be eco nomically efficient. Moreover, SPS regulations are not “most favored nation,” i.e., different trading partners may need to comply with different conditions for gaining access to, an importing country’s market. Consequently, designing effective rules for such measures is difficult (Roberts & DeRemer, 1997). To stem the proliferation of technical barriers in recent years, GATT members negotiated Agreements on Sanitary and Phytosanitary Measures (SPS) and Technical Barriers to Trade (TBT) as part of the Uruguay Round Agreement (World Trade Organization, 1994a, 1994b). These agreements considerably strengthen international rules on the use of technical barriers. All WTO members are now subject to these agreements. The agreements specify that SPS and technical measures should not be used as disguised trade barriers or in an arbitrary or discriminatory manner. They should only be applied to the extent necessary and must be based on scientific principles and on risk assessment (World Trade Organization, 1994a, 1994b). Countries are encouraged to use international standards developed by international scientific organizations such as the Codex Alimentarius Commission, the International Office of Epizootics (OIE), and the International Plant Protection Convention (IPPC). Countries, however, may maintain standards that are stricter than international standards, if they are justified by science or by a nondiscriminatory lower level of risk. In the absence of harmonization, WTO members are encouraged to apply the principle of equiv alency and negotiate, for example, veterinary equivalence agreements. Equivalency implies that the same level of health protection can be achieved by different methods (World Trade Organization, 1994b). Regulations and standards should be considered equivalent if one country can show that its measures—albeit different—meet the other country’s legitimate objectives. Equivalence agreements allow products to be traded with minimal customs

checks. If each side recognizes the other party’s plant insp ection procedures, visits of in spectors to foreign production and processing facilities become unnecessary. Another novel feature of the SPS agreement, the principle of regionalization, suggests that disease or pest free status should be considered on the regional rather than the country level. If a country can demonstrate that an area of its country is, and is likely to remain, disease or pest-free than importing countries should not place restrictions on goods from this area. Finally, countries cannot easily reject a panel decision based on the newly established dispute settlement mechanism any longer.

4. TECHNICAL REGULATIONS IN US/EUROPE TRADE

4.1. Overview

In a survey of FAS attaches, USDA regulatory agencies, and US trade organizations, Roberts and DeRemer (1997) identify questionable regulations in the EU, Eastern Europe, and the FSU that affected US agricultural exports in June 1996. Such barriers include market access, market expansion, and market retention barriers. Market access barriers include import bans; market expansion barriers limit but do not preclude US exports; and market retention barriers are measures under consideration, which may adversely affect US exports, if enacted. Roberts and DeRemer asked the attaches and trade organizations to estimate the trade impact of such barriers in terms of the value of current US export revenue that is threatened and could be potentially lost. Please note that the survey only covers questionable measures affecting US exports to countries covered by overseas FAS offices. It does neither cover questionable European measures affecting countries other than the US nor US measures affecting European imports.

The survey finds 57 questionable measures in Europe with an estimated trade impact on US agricultural and food exports of $899.55 million. Six of these questionable measures have an estimated individual trade impact of more than $50 million each (Table 2). Together these barriers account for 61.8% of the total

estimated trade impact. Survey respondents identified only 12 other measures worldwide with such a large impact. Roberts and DeRemer (1997) find 23 regulations in US/Europe trade with an estimated trade impact of more than $5 million.

Considering the product coverage of questionable measures, the survey shows that many barriers affecting US exports to Europe affect trade in animal products (Table 2). The estimated trade impact of all barriers on animal products is $477.3 million and accounts for 53% of estimated total trade impacts of all European barriers. By comparison, in all other countries of the world only $107.3 million exports of animal products are subjected to questionable barriers. Moreover, exports of processed foods and grains exceeding $100 million respectively are affected by questionable barriers (Roberts & DeRemer, 1997).

The USDA survey is the first comprehensive survey of technical trade barriers affecting US agricultural exports. It has shed the light on TBTs by detailing how pervasive such barriers are. However, its results should be interpreted carefully for several reasons.

1. The experts consulted are likely to be biased: the goal of FAS attaches and trade organizations is to promote US agricultural exports. The regulatory agencies used to vet their estimates are likely to take the US stance on issues such as the scientific justification and conformity of various measures with the new trade agreements.

2. Some experts may have been aware that the US may consider initiating WTO dispute settlement procedures based on their reports.

3. The survey covers market retention barriers (i.e., barriers under consideration) whose adoption and implementation are uncertain.

4. Finally, for confidentiality reasons, Roberts and DeRemer (1997) could not identify specific issues. Lacking this information, it is difficult to assess the reliability of various estimates.

Source: Thornsbury et al. (1997); Roberts and DeRemer (1997).

4.2. Specific Measures

This section identifies recent and current specific technical barriers in US/Europe agricultural trade. In addition to studying European barriers on US imports, we also explore US barriers on European imports. We identify sectors in which such barriers are prevalent and attempt to approximate their trade impact.

Our survey does not provide systematic evidence on technical barriers in US/Europe trade. This requires a detailed assessment of many standards and regulations and a comprehensive survey of exporters in many countries. Instead, our study is based on information found in research papers, newspapers, and industry and agency publications such as Agra-Europe, documents of the US Foreign Agricultural Service, and a European Commission Report on US Barriers

to Trade and Investment. We omit questionable measures not mentioned in such publications and, possibly, many TBTs related to conformity assessment and enforcement.

In this article, we attempt to approximate the trade impact of various TBTs. Unfortunate ly, with the exception of Peterson, Paggi, and Henry’s paper (1998) on the US/EU hormone dispute, quantitative economic studies on the price and welfare effects of TBTs in US/Euope trade are unavailable at this point. Occasionally, news and other sources identify the trade impact of threatened or existing barriers. If no data are available, we approximate the maximum possible impact of, for example, an import ban, by giving information on the trade volume before the ban. Note, however, that this estimate is likely to be an overstatement. Import bans are frequently linked to specific production and processing techniques. If a US processing firm follows EU guidelines, it may still be able to do business with the EU.

TABLE 3. The Approximate Trade Impact of Selected US/Europe Technical Barriers

A ine and olive oil exports correspond to total exports in the quoted year. Not all wine and olive oil may be affected by the ban.

B igure applies to total red meat rather than pork.

C astern Europe’s poultry meat imports amounted to $160 million in 1997.

Finally, please note that we do not attempt to merely pinpoint Roberts and DeRemer’s list of European technical barriers affecting US agricultural exports. The USDAsurvey constitutes a snapshot of questionable foreign technical barriers facing US agricultural exports in June 1996. Second-guessing measures identified by the USDA survey would have led us to neglect important current issues such as the EU’s threatened ban on specified risk materials. Other issues may have been resolved in the meantime. In what follows, we discuss technical barriers by region. Table 3 summarizes such barriers.

美国/欧洲农产品贸易的技术性贸易壁垒

摘要

技术性贸易壁垒严重影响了美国/欧洲的农产品贸易。一项1996年美国农业部的调查显示,有57个欧洲的贸易壁垒影响了美国的农产品出口,产生了估计有89955万美元的贸易影响。本文阐述了欧洲和美国的技术法规妨碍双边贸易。本文为个案研究提供了一个背景,并对技术性贸易壁垒的未来作用下了定论。由于贸易规则的变更,更高的食品安全和食品质量的需求以及欧盟的东欧国家,我们希望美国/欧洲的技术性贸易壁垒能够在将来得到发展。

什么是技术性贸易壁垒?

美国/欧洲的农产品贸易受到技术性贸易的强烈影响。如上所述,对于技术性贸易壁垒没有统一的定义。研究人员建议把定义建立在意图,经济影响,工具使用的基础之上。

在本次调查中,我们遵循了由Thornsbury等人(1997年)、罗伯茨和DeRemer (1997年)提出的定义。他们把技术性贸易壁垒定义为“能够管制外国产品在国内市场上销售的法规和标准,并且这些法规和标准的表面目的是为了纠正与这些产品的产、分配和消费相联系的外部作用产生的市场无效。”这一定义包括身份,措施,质量的标准,动植物卫生检疫措施,全球共同展区及包装要求。不过,该定义并不包括诸如补贴和税收(罗伯茨和DeRemer,1997)的奖励措施。除了技术法规,罗伯茨和DeRemer强调,表明符合外国法规可能成为一个技术性贸易壁垒。

技术性贸易壁垒有别于其他贸易壁垒的原因在于它可以产生经济效率。而且,动植物卫生检疫措施协议不是最惠国待遇,换言之,不同的贸易方为了获得进入一个进口国市场可能需要符合不同的条件。因此,为这些措施设计有效的规则是有难度的(罗伯茨和DeRemer,1997)。

为了遏制近年来盛行的技术性贸易壁垒,关贸总协定的成员国组织了关于动植物卫生检疫措施协议(SPS)和技术性贸易壁垒协议(TBT)的谈判,作为乌拉圭回合谈判的一部分(世界贸易组织,1994年a,1994年b)。这些协议大大加强了对技术性贸易壁垒使用的国际规则。所有世贸组织的成员国都受到了这些协议的制约。该协议规定,动植物卫生检疫措施和技术措施,不应成为变相的贸易壁垒或以武断或歧视性的方式被使用。他们应该只被适用于必要的范围之内,并且必须以科学的原则和风险评估(世界贸易组织,1994年a,1994年b)为基础。各国被鼓励使用由国际科学组织制定的国际标准,诸如食品规范委员会,国际兽疫局(OIE)和国际植物保护公约(IPPC)。但是,如果各国的理由是科学或一个非歧视性的更低水平的风险的话,他们可能保持比国际标准更为严格的标准。在协调统一的情况下,世贸组织的成员国被鼓励运用等效和谈判的原则,例

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